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Sunningdale Parish Council Records Management
Record Retention and Disposal Schedule 2018
Change History Version Date Description Change ID
1 24/04/2018 Original version SPC 2018
This document will be reviewed every four years or as required
The Data Controller is: Ruth Davies
Sunningdale Parish Council Record Retention Schedule 2018
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SUNNINGDALE PARISH COUNCIL
Contents Contents ..................................................................................................................................... 2
Retention Schedule ................................................................................................................... 6
1 Democratic Processes ........................................................................................................... 6 Elections ............................................................................................................... 6
Parish/Town Council Elections ......................................................................... 6 Results .......................................................................................................................... 6
Council & Committee Meetings .................................................................... 6 Council & Committee papers .............................................................................. 6 Minute taking............................................................................................................. 6 Register of Member’s interests .......................................................................... 6 Register of Disclosures and General Notices by Members ..................... 6 Declaration of Acceptance of Office .................................................................. 6
Partnership, Agency and External Meetings ........................................... 7 Partnership internal processes .......................................................................... 7
Political Parties Papers................................................................................... 7 Political Parties Papers .......................................................................................... 7
2 Management and Administration .......................................................................................... 8 Corporate Planning & Reporting ................................................................. 9
Corporate Planning & Reporting ....................................................................... 9 Statutory Returns ............................................................................................. 9
Statutory returns ..................................................................................................... 9 Policy, Procedures, Strategy and Structure ............................................. 9
Development processes ........................................................................................ 9 Public Consultation .......................................................................................... 9
Consultation processes .......................................................................................... 9 Information Management ........................................................................... 10
Information Management processes ............................................................. 10 Management of archived records ................................................................... 10 Record of disposal/destruction of records ................................................. 10 Monitoring of access to information .............................................................. 10
Business Contingency Plans ....................................................................... 10 Business Contingency Plans ............................................................................. 10 Disaster Recovery Plans ..................................................................................... 10
Enquiries and Complaints ........................................................................... 11 Management of enquiries and complaints ................................................. 11 Management of enquiries and complaints resulting in policy changes ...................................................................................................................................... 11 Management of detailed responses ............................................................... 11 Management of routine responses ................................................................ 11 Publicity about complaints procedures ....................................................... 11
Public Relations .............................................................................................. 12 Publications ............................................................................................................. 12
Media Relations .............................................................................................. 12 Process of interaction with the media .......................................................... 12 Media publications concerning local authority ........................................ 12
Civic and Royal Events .................................................................................. 12 Recording of ceremonial events and civic occasions ............................. 12 Organisation of a ceremonial event or civic occasion ............................ 12
Health & Safety Management ..................................................................... 13 Equipment Safety Check..................................................................................... 13 Risk Assessments .................................................................................................. 13 Facility Inspection Records/Check Lists ..................................................... 13 Fire equipment checks ........................................................................................ 13 Accident Report Forms/Reports .................................................................... 13
3 Legal and Contracts ............................................................................................................. 14 Litigation ........................................................................................................... 14
Litigation ................................................................................................................... 14 Agreements ...................................................................................................... 14
Agreements .............................................................................................................. 14 Conveyance ....................................................................................................... 14
Conveyance .............................................................................................................. 14
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Contracts and Tendering ............................................................................. 15 Pre contract advice ........................................................................................ 15
Pre contract advice................................................................................................ 15 Pre-Qualification of Suppliers ................................................................... 15
Supplier expressions of interest and pre-qualification questionnaire responses .................................................................................................................. 15
Specification and contract development ............................................... 15 Specification and contract development ...................................................... 15
Tender issuing and return .......................................................................... 15 Tender issuing and return ................................................................................. 15
Tender evaluation ......................................................................................... 15 Tender evaluation ................................................................................................. 15 Successful tender document ............................................................................. 15 Unsuccessful tender documents ...................................................................... 16
Post tender negotiation ............................................................................... 16 Post tender negotiation ....................................................................................... 16
Awarding of contract .................................................................................... 16 Awarding of contract ............................................................................................ 16
Contract management .................................................................................. 16 Contract operation & monitoring.................................................................... 16 Management and amendment of contract .................................................. 16
Legal Records & Documents ...................................................................... 16 Miscellaneous Legal Records ............................................................................ 16
4 Human Resources ................................................................................................................ 17 Personnel administration ........................................................................... 17
Administration of employees............................................................................ 17 Administration of employees – subsidiary monitoring ......................... 17 Superannuation records ..................................................................................... 17 References provided for ex -employees ....................................................... 17 References given/information to enable reference to be provided . 17
General Staff Administration ..................................................................... 17 General filing ............................................................................................................ 17
Processing Purpose ....................................................................................... 18 Employee and Industrial Relations ......................................................... 18
Disciplinary grievances (where proved)...................................................... 18 Disciplinary grievances (where unfounded or later disproved) ........ 18
Equal Employment Opportunities ........................................................... 18 Equal Employment Opportunities ................................................................. 18 Equal Opportunities Monitoring ..................................................................... 18
Occupational Health ...................................................................................... 18 Occupational health records ............................................................................. 18
Processing Purpose ....................................................................................... 19 Recruitment ..................................................................................................... 19
Recruitment records for un-shortlisted applicants ............................... 19 Recruitment records for shortlisted applicants ....................................... 19
Staff Retention ................................................................................................. 19 Financial reward ................................................................................................... 19
Termination ..................................................................................................... 19 Termination of employment ............................................................................ 19
Training and Development ......................................................................... 19 Routine staff and councillor training ............................................................ 19 Training materials ................................................................................................ 19
5 Accounts and Auditing ......................................................................................................... 20 Reporting .......................................................................................................... 20
Consolidated annual financial reports ......................................................... 20 Consolidated periodic financial reports ...................................................... 20
Financial Transactions Management ...................................................... 20 Approvals management ..................................................................................... 20
Financial Transactions Management ...................................................... 21 Receipt, expenditure and write-off of public monies ............................. 21 Balance and reconciliation of financial accounts ..................................... 21 List of Authorised Signatories .......................................................................... 21
Payroll ................................................................................................................ 21 Accountable processes relating to payment of employees .................. 21
Financial Provisions: Budgets and Estimates ...................................... 22 Finalisation of annual budget ........................................................................... 22 Development process for annual budget .................................................... 22 Reporting process of annual budget ............................................................. 22
6 Property and Land Management ......................................................................................... 23 Property and Land Management .............................................................. 23
Building and maintenance files ....................................................................... 23 Process of maintaining plant and equipment ............................................ 23
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Abstracts of title ..................................................................................................... 23 Agreements with architects and builders .................................................... 23
Property Acquisition and Disposal .......................................................... 23 Management of the acquisition (real property) ........................................ 23 Management of the disposal (real property) ............................................. 23
Property Development and Renovation ................................................ 24 Property development and renovation ........................................................ 24 Management of buildings and estates of ‘special interest’ ................... 24 Management of all other buildings and estates......................................... 24 Abstracts of title ..................................................................................................... 24 Agreements with architects and builders .................................................... 24 Renovation or development process ............................................................. 24 Land certificates ..................................................................................................... 24
Insurance: Policy Management ................................................................. 25 Management of insurance arrangements .................................................... 25 Insurance process .................................................................................................. 25 Renewal process .................................................................................................... 25
Insurance: Claims Management ................................................................ 25 Recording claims .................................................................................................... 25
7 General Public Services ....................................................................................................... 26 Health and Safety ........................................................................................... 26 H&S Inspections and Assessments .......................................................... 26
Inspection ................................................................................................................. 26 Monitoring ................................................................................................................ 26 Asbestos monitoring ............................................................................................ 26 Safe systems ............................................................................................................. 26 Risk assessment ..................................................................................................... 26 Injury records: adults ........................................................................................... 26
Emergency Planning ..................................................................................... 27 Emergency/Disaster Plan .................................................................................. 27 Emergency/Disaster Plan Test Records ....................................................... 27
Major Incident ................................................................................................. 27 Major incident reports ......................................................................................... 27 Minor incident reports ........................................................................................ 27
Allotments ........................................................................................................ 28 Duty to provide allotments ................................................................................ 28
Power to let grazing rights ................................................................................ 28 Baths & Washhouses ..................................................................................... 28
Power to provide public baths & wash-houses ........................................ 28 Bye-Laws ........................................................................................................... 28
Creation of bye- laws ........................................................................................... 28 Administration and enforcement of bye-laws .......................................... 28
Burial Grounds, Cemeteries and Crematoria ....................................... 28 Management of burials ....................................................................................... 28 Regulation of burials and cremations ........................................................... 28
Public clocks .................................................................................................... 29 Power to provide public clocks ....................................................................... 29
Closed churchyards ....................................................................................... 29 Powers to maintain closed churchyards ..................................................... 29
Common pastures .......................................................................................... 29 Powers in relation to providing common pasture .................................. 29
Conference facilities ...................................................................................... 29 Power to provide and encourage the use of conference facilities .... 29
Community Centres ....................................................................................... 29 Power to provide and equip buildings for use of clubs ......................... 29
Crime Prevention ........................................................................................... 29 Powers to install and maintain CCTV ........................................................... 29
Drainage ............................................................................................................ 30 Power to deal with ponds and ditches ......................................................... 30
Entertainment & the Arts ............................................................................ 30 Provision of entertainment and support of the Arts .............................. 30
Litter Bins ......................................................................................................... 30 Provision of litter bins......................................................................................... 30
Open spaces ...................................................................................................... 30 Power to acquire land and maintain it ......................................................... 30
Public buildings and Village Halls ............................................................ 30 Power to provide buildings for public meetings and assemblies ..... 30
Public conveniences ...................................................................................... 30 Power to provide public conveniences ........................................................ 30
Roadside Seat and Shelters ......................................................................... 31 Power to provide roadside seats and shelters .......................................... 31
War Memorials ................................................................................................ 31
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Power to maintain, repair, protect and alter war memorials.............. 31
10. Planning and Land Use ..................................................................................................... 32 Planning Scheme Development and Amendment .............................. 32
Development process for plans ....................................................................... 32 Consultation ............................................................................................................. 32
Countryside and Open Space Amenity Development and Management .................................................................................................... 32
Countryside and open space amenity development .............................. 32 Parish paths Initiative .......................................................................................... 32 Rights of Way ........................................................................................................... 32
11. Infrastructure and Transport ............................................................................................ 33 Planning and Development ........................................................................ 33
Parish Roads Files.................................................................................................. 33 Traffic Management ...................................................................................... 33
Traffic calming ........................................................................................................ 33
Parking ...................................................................................................................... 33 Infrastructure Management and Maintenance ................................... 33
Provision of municipal services ...................................................................... 33 Utilities ...................................................................................................................... 33 Land Drainage Records ....................................................................................... 33
Public Transport ............................................................................................ 33 Bus shelters ............................................................................................................. 33
12. Heritage, Tourism and Museum Services ........................................................................ 34 Tourism Service .............................................................................................. 34
Mailing Lists ............................................................................................................ 34 Visitors Book ........................................................................................................... 34 Correspondence ..................................................................................................... 34 Complaints ............................................................................................................... 34 Events......................................................................................................................... 34
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Retention Schedule
Description Retention Action Examples of Records Notes Processing Purpose
1 Democratic Processes Elections
Parish/Town Council Elections Destroy after 2 years
Destroy after 12 months (Statutory)
• Returns and Declarations as to Election expenses
• All material except Declarations and Expenses
Held by Clerk
Legal obligation
Results
Destroy 6 months from date of election (Statutory)
• Declaration of results (local elections only)
Legal obligation
Council & Committee Meetings
Council & Committee papers
The process of preparing business for Council or Committee consideration and making the record of discussion, debate and resolutions.
Substantive records - permanent. Transfer to Berkshire Records Office after 5 years. Must be available for public inspection (except Part II).
Background papers - 5 years.
• Minutes
• Agendas
• Committee Papers and Reports (including Part II items)
• Decision Record Notices
• Background Papers
Held electronically and in hard copy by Clerk
Also available on internet
Legal obligation
Minute taking
Destroy after date of confirmation/approval of minutes
• Draft/rough minute
• Notes/audio tapes
Legal obligation
Register of Member’s interests
Retain for six years. • Signed register or signed forms May be offered to Record Office as historical record
Legal obligation
Register of Disclosures and General Notices by Members
Retain for six years. Pass to Record Office for consideration
• Formal Register of disclosures.
• Not memos or emails containing original information
May be offered to Record Office as historical record
Legal obligation
Declaration of Acceptance of Office
Retain for six years. Pass to Record Office for consideration
• Formal signed Declarations May be offered to Record Office as historical record
Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Partnership, Agency and External Meetings
Partnership internal processes
The process of preparing business for partnership and agency consideration and making the record of discussion, debate and resolutions, where the council legally owns the record.
As for Council and Committee Meetings
(Permanent for substantive record, 5 years for background papers)
• Documents establishing the Committee
• Agendas
• Minutes
• Council Reports
• Recommendations
• Supporting documents such as Council briefing and discussion papers
Legal obligation
Political Parties Papers
Political Parties Papers
Process of undertaking representation
Destroy three years after last action • Leader of opposition papers
• Leader of Council papers
Legal obligations
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2 Management and Administration Description Retention Action Examples of Records Notes Processing Purpose
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Corporate Planning & Reporting
Corporate Planning & Reporting
The corporate planning and reporting activities of Local Authorities
▪ Permanent. Archive after 7 years
▪ Permanent. Archive after 2 years
▪ Corporate Plans ▪ Strategy Plans
▪ Business Plans ▪ Service Plans
▪ Budget Plans
Retain until archived at Berkshire Records Office
Local Government Act 1972
Retain until archived at Berkshire Records Office
Legal obligation
Statutory Returns
Statutory returns
The process of preparing information to be passed on to central government as part of statutory requirements
▪ Archive hard copy after 3 years. Destroy 7 years from closure.
▪ Retain electronic version
▪ Retain until archived at Berkshire Records Office
Local Government Act 1972: Sch 225 & 228 Dependent on statute under which information is collected
Legal obligation
Policy, Procedures, Strategy and Structure
Development processes
Activities that develop policies and procedures, for the Council
▪ Hard copy - permanent. Electronic – up-to-date version
▪ Constitution
▪ Policy, Procedure, Precedent, ) Instructions )
▪ Records relating to Policy ) Implementation and Development )
Local Government Act 2000
Common practice
Public Consultation
Consultation processes
The process of consulting the public and staff, where appropriate, in the development of significant or minor policies of the local authority
Destroy five years from closure
• Results of public consultation exercises
• Results of employee consultation exercises
Common practice Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Information Management
Information Management processes
The activity whereby standards, authorities, restraints and verifications are introduced and maintained to manage information effectively.
• Until superceded • Records Management Schemes
• Authorised Lists of File Headings
Common practice
Management of archived records
The management of collections of records transferred to the archives
• Current edition retained. Earlier versions archived for reference only (single copy)
• Permanent. Administrative use
• Record Retention Policy
• Accession registers and file indexes for records
Common practice
Record of disposal/destruction of records
The process which records the disposal of records
Destroy 12 years after last action
• Indexes
• Disposal certificates
• Includes destruction of hard drives, memory sticks, CD’s etc
Common practice based on Limitation Act
Monitoring of access to information
Destroy three years after last action • Data Protection requests
• Freedom of Information Requests
• ICO complaints
• DP breaches
Retain longer if any legal case or complaint in relation to individual making request is ongoing
Legal obligation
Business Contingency Plans
Business Contingency Plans
Retain for seven years in archive • Contingency plans
• Minutes of meetings
Retain indefinitely until superceded, when these should be archived and retained for seven years
Disaster Recovery Plans
Retain for seven years in archive • Recovery plans
• Minutes of meetings
Retain indefinitely until superceded, when these should be archived and retained for seven years
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Description Retention Action Examples of Records Notes Processing Purpose
Enquiries and Complaints
Management of enquiries and complaints
The management in summary form of enquiries and complaints directed to council.
• For 3 years from last action • Indexes/databases
Legal obligation
Management of enquiries and complaints resulting in policy changes
The management of enquiries, submissions and complaints which result in changes to Council policy or procedures
• For five years from last action • Correspondence
• Reports
• Returns
Legal obligation
Management of detailed responses
The management of detailed responses on Council actions, policy or procedures
• Stage 1 and 2 - Destroy 3 years from last action
•
• Correspondence
• Keep confidentially Legal obligation
Management of routine responses
The management of routine responses on Council actions, policy or procedures
• Destroy 2 years from last action unless other statutory limit applies
• Correspondence • Legal obligation
Publicity about complaints procedures
Destroy when superceded • Leaflets
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Description Retention Action Examples of Records Notes Processing Purpose
Public Relations
Publications
The published work of the local authority
Kept permanently ▪ Leaflets/Posters/ Brochures
▪ Stationery ▪ Books
Media Relations
Process of interaction with the media
Hard copies – destroy 3 years from
closure. ▪ Media enquiry record forms Public interest
Media publications concerning local authority
6 months (RMS recommended – permanent archive)
▪ Local newspapers ▪ Press cuttings
Public interest
Civic and Royal Events
Recording of ceremonial events and civic occasions
Retained until end of term of office of Chairman of Council
▪ Photographs
▪ Newspaper Clippings ▪ Visitors Books
Public interest
Organisation of a ceremonial event or civic occasion
Destroy 2 years after administrative use is concluded
Public interest
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Health & Safety Management
Description Retention Action Examples of Records Notes Processing Purpose
Equipment Safety Check
▪ First Aid boxes
Risk Assessments
Annually reviewed ▪ Activity building/security COSHH AALA annual inspection Health and Safety
Facility Inspection Records/Check Lists
2 years ▪ Annual/monthly checks In building
Fire equipment checks
Until superceded ▪ Annual In building
Accident Report Forms/Reports
In accident book and electronically– Retained for 21 years
▪ Accident books ▪ Written reports/letters
Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
3 Legal and Contracts Litigation
Litigation
Managing, undertaking or defending for or against litigation on behalf of the council
Destroy 7 years after last action • Case files
• Prosecutions
• Appeals
Held in confidential files by clerk Legal obligation
Agreements
Agreements
Process of agreeing terms between organisations (Not contractual agreements)
Destroy 6 years after agreement expires or is terminated
• Concordat Common practice – dependent on value of agreement. Mainly agreements between public bodies – not in regard to contracts
Legal obligation
Conveyance
See also Property Acquisition and Disposal (6)
Conveyance
Process of changing ownership or land or property
Retain for 12 years after interest in property ceases, then destroy
• Conveyancing files Held by Clerk Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Contracts and Tendering
Pre contract advice
Pre contract advice
Destroy 2 years after contract let or not preceded with
Expressions of interest Held by Clerk Legal obligation
Pre-Qualification of Suppliers
Supplier expressions of interest and pre-qualification questionnaire responses
Process involved pre-qualification process for contracts
For approved suppliers – Retain as for Ordinary Contracts destroy after 6years from expiry or Contracts under seal destroy 12 years after terms of contract have expired For unapproved suppliers destroy after one year
Supplier expressions of interest Pre-qualification questionnaires Supporting supplier documents Pre-qualification questionnaire assessments
As above
Legal obligation
Specification and contract development
Specification and contract development
Process involved in the development and specification of a contract
Ordinary Contracts destroy after 6 from expiry Contracts under seal destroy 12 years after terms of contract have expired
Tender specification Tender Documents Quotations Signed contract
As above Legal obligation
Tender issuing and return
Tender issuing and return
Process involved in issuing and return of a contract
Destroy one year after start of contract
• Opening notice
• Tender envelope
As above Legal obligation
Tender evaluation
Tender evaluation
Destroy 1 year after start of contract
• Evaluation criteria As above Legal obligation
Successful tender document
Ordinary contracts destroy 6 years after contract expired Contracts under seal destroy 12 years after contract expired
Tender documents Quotations
As above Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Unsuccessful tender documents
Destroy 2 years after contract not proceeded with
Tender documents Quotations
As above Legal obligation
Post tender negotiation
Post tender negotiation
Ordinary contracts destroy 6 years after contract expired Contracts under seal destroy 12 years after contract expired
Clarification of contract Minutes
As above Legal obligation
Awarding of contract
Awarding of contract
Ordinary contracts destroy 6 years after contract expired Contracts under seal destroy 12 years after contract expired
Signed contract As above Legal obligation
Contract management
Contract operation & monitoring
Destroy 2 years after terms of contract expired
SLA Compliance & performance reports
As above Legal obligation
Management and amendment of contract
Ordinary contracts destroy 6 years after contract expired Contracts under seal destroy 12 years after contract expired
Minutes/note of meetings Changes to requirements Variation forms Extension of contract Complaints Disputes on payment
As above Legal obligation
Legal Records & Documents
Miscellaneous Legal Records
Destroy 20 years after last action
• Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
4 Human Resources Personnel administration
Administration of employees
The process of administering employees to ensure that entitlements and obligations are in accordance with agreed employment requirements
Duration of employment plus seven years
CV’s and interview notes Application forms Letter of appointment Letter of acceptance Job description Personal particulars Educational qualifications Employment contracts Exit interviews
Held in Clerks files during duration of employment, then indexed and filed in archive until destroyed.
Contract and Legal obligation
Administration of employees – subsidiary monitoring
Process of monitoring staff leave and attendance
Destroy 2 years after action completed
Sick leave
Jury Service
Training records
Leave applications
Annual leave
As above Legal obligation
Superannuation records
Destroy 6 years from date of last pension payment
Superannuation records As above Legal obligation
References provided for ex -employees
References given/information to enable reference to be provided
5 years from reference/end of employment
Filed confidentially Legal obligation
General Staff Administration
General filing
General filing not otherwise covered by Council policy or legislation
Retain for three years, review, and destroy unless otherwise advised
• Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Employee and Industrial Relations
Disciplinary grievances (where proved)
Processing of disciplinary and grievances where proved
Oral warning – 6 months Written warning – 1 year Remove and destroy after relevant time is ‘spent’ Warnings involving children – placed on personal file permanently
• Disciplinary
• Grievance
Legal obligation
Disciplinary grievances (where unfounded or later disproved)
Destroy immediately grievance is found to be unfounded, or after successful appeal
• Disciplinary
• Grievance
Legal obligation
Equal Employment Opportunities
Equal Employment Opportunities
The process of investigation and reporting on specific cases to ensure entitlements and obligations are in accordance with agreed Equal Employment Opportunities guidelines and policies
Destroy 5 years after action completed
• Confidential equalities files re disability, gender, ethnicity etc.
To be held confidentially Legal obligation
Equal Opportunities Monitoring
Process of monitoring general equal opportunities processes (employment of people with disabilities, gender representation, ethnic representation)
Destroy 5 years after action completed
• Monitoring forms from job applications
Anonymised data
Occupational Health
Occupational health records
The process of checking and ensuring the health of staff
Records relating to accident or injury at work – 12 years Other records – as relevant to circumstances for which these were collected
• Health questionnaire
• Medical clearances
• Adjustment to workplace
• Restrictions
• Recommendations
To be held confidentially See Employment Records Code Part 4 issued by the Information Commissioner
Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Recruitment
Recruitment records for un-shortlisted applicants
The selection of an individual for an established position. Records where application not short-listed
4 months from date applicant informed not short-listed
• Completed job application forms
• CVs
• Internal notes
• Adverts
• Referee reports
Confidentail files Legal obligation
Recruitment records for shortlisted applicants
The selection of an individual for an established position. Records where
applicants short-listed but
unsuccessful
4 months from date applicant informed of the appointment decision
• Completed job application forms
• CVs
• Internal notes
• Interview records
Confidential files Legal obligation
Staff Retention
Financial reward
Destroy 7 years after action completed
• Letters or supporting documents for one off honoraria
• Work related bonuses
All records relating to actual payments are dealt with under Accounts and Auditing Section 7
Legal obligation
Termination
Termination of employment
Process of termination of employment through voluntary redundancy, dismissal and retirement
If a pension is paid records should be destroyed 6 years after last payment of pension. Otherwise destroy six years after last action.
• Resignation
• Redundancy (Section 188) • Dismissal
• Death
• Retirement
Legal obligation
Training and Development
Routine staff and councillor training
Routine staff training processes, not statutory
2 years after action completed • Course individual staff assessment Legal obligation
Training materials
Destroy 1 year after course is superseded
• Powerpoint presentations
• Handouts
• Course notes
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Description Retention Action Examples of Records Notes Processing Purpose
5 Accounts and Auditing Reporting
Consolidated annual financial reports
The process that consolidates financial transactions on an annual basis for corporate reporting purposes
Permanent - Transfer to place of deposit after administrative use is concluded
• Consolidated annual reports
• Consolidated financial statements
• Statement of financial position
• Operating statements
Consolidated periodic financial reports
The process that supports and consolidates financial transactions on a periodic (less than annual) basis, superseding those from the previous period. Excludes journals and subsidiary ledgers and cash books.
Destroy when administrative use is concluded
• Consolidated monthly and quarterly reports
• Consolidated monthly and quarterly statements
• Working papers to prepare the above
• Monthly accrual statements
• Cashflow statements
• Creditor listings and reports
• Debtor listings and reports
• Auditors reports
Legal obligation
Financial Transactions Management
Approvals management
Management of the approvals process for purchase, including investigations
Destroy 7 years after the end of the financial year in which the records were created
• Appointments and delegations
• Audit investigations
• Arrangements for the provision of goods and/or services
Statutory (Limitations Act) Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Financial Transactions Management
Receipt, expenditure and write-off of public monies
Identification of the receipt, expenditure and write-offs of public monies. Includes ordering and stock documentation. Inclusive of:
Destroy 6 years after conclusion of financial transaction that the record supports
• Official order books
• Delivery notes
• Allowances
• Work orders
• Invoices
• Annual subsidiary ledgers & journals
• Imprest paying in book
• Unpresented cheque lists
Statutory. Period may be reduced with agreement of Custom and Excise and/or the Inland Revenue
Legal obligation
Balance and reconciliation of financial accounts
Destroy 2 years after administrative use is concluded
• Reconciliation
• Summaries of accounts
Common practice
List of Authorised Signatories
Destroy 1 year after audit Legal obligation
Payroll
Accountable processes relating to payment of employees
Destroy 7 years after conclusion of financial transaction that record supports
• Authority sheets
• Payroll deduction authorities
• Payroll disbursement
• Employee pay records
• Employee taxation records • Overtime sheets
• Timesheets
• Expenses
Statutory
Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Financial Provisions: Budgets and Estimates
Finalisation of annual budget
The process of finalising council’s annual budget
Permanent - Transfer to place of deposit after administrative use is concluded
• Annual budget Common practice Only the final version of the annual budget needs to be kept
Development process for annual budget
The process of developing council’s annual budget
Destroy 2 years after annual budget adopted by council
• Draft budgets
• Departmental budgets
• Draft estimates
Common practice
Reporting process of annual budget
The process of reporting which examines the budget in relation to actual revenue and expenditure
Destroy after following year’s annual budget has been adopted by council
• Quarterly statements Common practice
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Description Retention Action Examples of Records Notes Processing Purpose
6 Property and Land Management Property and Land Management
Building and maintenance files
Retain for 12 years, then destroy Common practice
Process of maintaining plant and equipment
Destroy 7 years after sale or disposal of asset
• Service records
• Plant files
Common practice
Abstracts of title
Retain for 12 years after interest in the property ceases, then destroy
Commercial / statute of limitations Legal obligation
Agreements with architects and builders
Retain for 6 years after interest in property ceases, then destroy
Commercial / statute of limitations Legal obligation
Property Acquisition and Disposal See also Conveyance (3)
Management of the acquisition (real property)
Management of the acquisition (by financial lease or purchase) process for real property
Retain for 12 years after interest in property ceases, then destroy
RMS advisory – offer significant material to archivist for review
• Leases
• Plans
Commercial / statute of limitations Legal obligation
Management of the disposal (real property)
Management of the disposal (by sale or write off) process for real property
Destroy 15 years after all obligations/entitlements are concluded
RMS advisory – offer material re significant/major properties to archivist for review
• Legal documents relating to the sale
• Particulars of sale documents
• Board of Survey
• Tender documents
• Conditions of contract
Common practice Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Property Development and Renovation
Property development and renovation
Process of managing and undertaking renovations and development of property
Management of buildings and estates of ‘special interest’
Permanent - Transfer to place of deposit after administrative use is concluded
• Project specifications
• Plans
• Installation manuals
• Certificates of approval
Management of all other buildings and estates
RMS advisory – retain for life of property or building
• Project specifications
• Plans
• Installation manuals
• Certificates of approval
Abstracts of title
12 years after interest in property ceases
Destroy after 12yrs. Commercial/statute of limitations
Legal obligation
Agreements with architects and builders
6 years after interest in property ceases
Destroy after 6yrs. Commercial/statute of limitations
Legal obligation
Renovation or development process
Destroy seven years after the conclusion of the transaction that the record supports
• Work orders
• Tender documents
• Conditions of contracts
See also: Legal and Contracts Section 3
Land certificates
12 years after interest in property ceases
Destroy after 12yrs. Commercial/statute of limitations
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Description Retention Action Examples of Records Notes Processing Purpose
Insurance: Policy Management
Management of insurance arrangements
Summary management of insurance arrangements
Permanent - Transfer to place of deposit after administrative use is concluded
• Insurance register
Insurance process
Process of insuring local authority officers, property, equipment against negligence, loss or damage
Destroy 7 years after terms of the policy have expired
• Insurance policies
• Correspondence
Legal obligation
Renewal process
Process of renewing insurance policies
Destroy 5 years after the insurance policy has been renewed
• Insurance policy renewal records
• Correspondence
Insurance: Claims Management
Recording claims
The process that records claims against the council
Destroy 7 years after all obligations/entitlements are concluded (allowing for the claimant to reach 25 years of age)
• Claims records
• Correspondence
Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
7 General Public Services Health and Safety
H&S Inspections and Assessments
Inspection
Process of inspecting equipment to ensure it is safe
Destroy 6 years from destruction of equipment
• Equipment inspection records
• Fire equipment maintenance
Statutory
Monitoring
Process of carrying out monitoring to ensure that the process is safe
Destroy 3 years from last action
• Monitoring results
• Fire safety checks
• Fire alarm tests
• Fire drills / practice
• Statement of procedure to be followed in the event of a fire
Statutory See also Registration, Certification and Licensing in (9)
Asbestos monitoring
Process of carrying out monitoring of areas where employees and persons are likely to have come into contact with asbestos
Destroy 40 years from last action • Property asbestos files Common practice based on Statute
Safe systems
Process to ensure safe systems of work
Retain until superseded or process ceases plus 1 year
• Health and Safety procedures and guidance
• Memos
Common practice
Risk assessment
Process to assess the level of risk
Destroy 3 years from last assessment
• Risk assessment Statutory
Injury records: adults
Process that records injuries to adults
Destroy 3 years from closure • Accident books Statutory Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Emergency Planning
Emergency/Disaster Plan
Process to develop the Emergency/Disaster Plan for the local community
Permanent - Transfer to place of deposit after superseded
• Major Incident Plan
• Recovery/contingency plans
• Individual service plans
Contingency/disaster plans should be destroyed/archived when superseded by a new version, after it has been published and acknowledged by the organisation.
Emergency/Disaster Plan Test Records
Process of recording the results of the test of the Emergency/Disaster Plan for the local community
Destroy 10 years after closure • Annual joint authority exercise reports
Major Incident
Major incident reports
Activities that report on all major incidents in the local community, whether the emergency plan has been invoked or not
Permanent - Transfer to place of deposit after administrative use is concluded
• Reports to Council or Committee
• Leaflets
• Newspaper cuttings
• External reports
• Minutes of meetings
Preserve all related documents on the incident as a single unit permanently. Include current Disaster Plan at the time of the incident as relevant document
Legal obligation
Minor incident reports
Activities that report on all minor incidents in the local community
Destroy 7 years after closure • Reports (internal or external)
• Minutes of meetings
Preserve all related documents on the incident as a single unit for seven years.
Legal oblgation
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Description Retention Action Examples of Records Notes Processing Purpose
Allotments
Duty to provide allotments
Power to let grazing rights
Retain agreements with, and register of allotment holders while current. Delete when superceded. Financial information – 6 years plus current year
• Allotment leases/agreements
• Grazing rights, leases /agreements
• Maintenance records
Small Holdings and Allotments Act 1908 ss. 23,26 & 42
Legal obligation
Baths & Washhouses
Power to provide public baths & wash-houses
As property records (see S6) • Maintenance records etc. Public Health Act 1936 ss221, 222, 223 & 227
Bye-Laws
Creation of bye- laws
The process of making local laws
Permanent - Transfer to place of deposit after administrative use is concluded
• Master set of byelaws
• Policy development documents
• Correspondence
• Submissions
• Consultations
Common practice Public Health Act 1875 s164; Road Traffic Regulations Act 1984 s57; Public Health Act 1936 s223; Open Spaces Act 1906 s15
Administration and enforcement of bye-laws
Destroy 2 years after certificate has expired or penalty payment has been made or the matter has been finished or correspondence on the matter has ceased
• Application and certificates
• Permits
• Licences
• Infringement notices (parking)
• Correspondence
Burial Grounds, Cemeteries and Crematoria
Management of burials
Summary management systems that record the location of burials and identity of deceased individuals
Permanent - Transfer to place of deposit after administrative use is concluded Maintenance records – until superceded
• Register of interments
• Cemetery register
• Cemetery plans
• Green burials registers
• Memorial and monument maintenance records
Cemeteries and Crematoria run by Town/Parish Councils Green burial sites may apply Open Spaces Act 1906 ss9 &10; Local Government Act 1972 s214; Parish Councils and Burial Authorities (Misc Provisions) Act 1970 s1;
Legal obligatoin
Regulation of burials and cremations
Process of regulation of burials and cremations
Destroy 5 years after last action • Permits
• Applications Orders
Retain details of leaseholder of plot for period of lease
Legal obligation
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Description Retention Action Examples of Records Notes Processing Purpose
Public clocks
Power to provide public clocks
As property records (see S6) Historic archive - permanent
• Provision and maintenance records for public clocks
• Records of donors
Parish Councils Act 1957 s2 Legal obligation
Closed churchyards
Powers to maintain closed churchyards
Permanent - Transfer to place of deposit after administrative use is concluded Maintenance records – until superceded
• Register of interments
• Cemetery register
• Cemetery plans
• Green burials registers
• Memorial and monument maintenance records
Local Government Act 1972 s215 Retain details of leaseholder of plot for period of lease
Legal obligation
Common pastures
Powers in relation to providing common pasture
Retain leaseholding agreements while current, delete when superceded Financial information – 6 years plus current year
• Leaseholding agreements
• FInanciai information
Small Holdings and Allotments Act 1908 s34
Legal obligation
Conference facilities
Power to provide and encourage the use of conference facilities
Six years plus current year Maintenance records – as property (see S6)
• Hall and conference hire agreements
• Maintenance records
Local Government Act 1972 s144 Legal obligation
Community Centres
Power to provide and equip buildings for use of clubs
Six years lpus current year Maintenance records – as property (see S6)
• Community centre facility agreements
• Maintenance records
Local Government (Misc Provisions) Act 1976 s19
Legal obligation
Crime Prevention
Powers to install and maintain CCTV
Retain current record no longer than 30 days unless required for investigation
• CCTV records Local Government and Rating Act 1997 s31
Public interest
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Description Retention Action Examples of Records Notes Processing Purpose
Drainage
Power to deal with ponds and ditches
Indefinitely (se also S11)
• Maintenance records Public Health Act 1936 s260
Entertainment & the Arts
Provision of entertainment and support of the Arts
Historic archive – retain permanently Attendee lists – six months Invitation lists – as consent
• Events documentation
• Attendee lists
• Invitation lists
Local Government Act 1972 s145 Legal obligation Consent
Litter Bins
Provision of litter bins
Until superceded
• Provision and maintenance records Litter Act 1983 ss5, 6
Open spaces
Power to acquire land and maintain it
As property (see S6) Historic archive - permanent
• Purchase records
• Maintenance records
• Donor records
Public Health Act 1875 s164 Open Spaces Act 1906 ss 9 and 10
Consent
Public buildings and Village Halls
Power to provide buildings for public meetings and assemblies
As property (see S6) Six years plus current year
• Purchase records
• Maintenance records
• Hall hire agreements
Local Government Act 1972 Legal obligation
Public conveniences
Power to provide public conveniences
As property (see S6)
• Purchase records
• Maintenance records
Public Health Act 1936 s87
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Description Retention Action Examples of Records Notes Processing Purpose
Roadside Seat and Shelters
Power to provide roadside seats and shelters
Until superceded Historic archive - permanent
• Provision and maintenance records
• Donor records
Highways Act 1980 s130 Consent
War Memorials
Power to maintain, repair, protect and alter war memorials
As property records (see s6) Historic archive - Permanent
• Maintenance records
• Register of those commemorated
• Records of those commemorated
War Memorials (Local Authorities Powers) Act 1923 s1 as extended by Local Government Act 1948 s 133
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Description Retention Action Examples of Records Notes Processing Purpose
10. Planning and Land Use Planning Scheme Development and Amendment
Development process for plans
The activity of developing a vision and strategic directions
Hold for period of Plan
Records Management advisory - offer to Archivist at Berkshire Record Office when plan superseded
• Neighbourhood Development Plans
• Parish Plans
Consultation
The activity of consultation to gain approval of Local Plans
Permanent – offer to Archivist at Berkshire Record Office after 3 years
• Consultation documents and replies
• Inquiries and objections made by members of the public
• Public Inquiry documents
Countryside and Open Space Amenity Development and Management
Countryside and open space amenity development
The process of maintaining the countryside and developing open spaces for public amenity.
Permanent – transfer to place of deposit after administrative use concluded
• Land purchase agreements
• Play areas and sports grounds Town and Country Planning Act 1990
Parish paths Initiative
Destroy after ten years • Parish records relating to work proposed and completed.
• Common practice
Rights of Way
Permanent • Parish record regarding rights of way •
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Description Retention Action Examples of Records Notes Processing Purpose
11. Infrastructure and Transport Planning and Development
Parish Roads Files
21 years • Correspondence
• General Enquiries
Legal obligation
Traffic Management
Traffic calming
• Record of contribution to traffic calming schemes
Highways Act 1980, s.274A
Parking
The activity of planning and consulting on parking
Permanent - Transfer to place of deposit after administrative use concluded
• Parking Studies
Infrastructure Management and Maintenance
Provision of municipal services
The activity of providing municipal services in relation to infrastructure within the local authority
Indefinitely Review administrative issues after seven years from action taken (RMS advisory)
• Street files
• Street records
• Street name changes, numbering Other administrative issues (see Notes)
Tree planting, naming of streets, numbering of houses, bus shelters, PC advice/comment, traffic calming measures,
Utilities
Process of utilities management by utility plans & notices
Indefinitely • Sewer plans
• Section 58 notices
New Roads & Streetworks Act 1991
Land Drainage Records
Indefinitely • Ponds and ditches Public Health Act 1936, s.260
Public Transport
Bus shelters
The activities involved in the management and provision of bus shelters
Destroy 3 years after superseded or last action
• Bus shelters Local Government (Miscellaneous Provision) Act 1953, s. 4
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Description Retention Action Examples of Records Notes Processing Purpose
12. Heritage, Tourism and Museum Services Tourism Service
Mailing Lists
1 year with consent (to be updated annually)
• Correspondence. Consent
Visitors Book
Historic archive - Permanent • Visitors comments Suggested that information includes minimal personal data
Consent
Correspondence
One year • Letters, emails Kept on file for 6 months then archive for 6 months then destroyed, confidential waste
Legal obligation
Complaints
• Complaints from visitors, Kept on file for 6 months then archive for 6 months then destroyed, confidential waste
Legal obligation
Events
Historic archive – permanent Six months
• Events promotion
• Attendee lists
Kept on file for 6 months then destroyed, confidential waste
Legal obligation
Data Security: Data security for personal data is provided by secure storage, password protection, encryption, etc. as is proportionate for the sensitivity of the personal data held. Personal data will not be shared with other organisations except in the performance of a contract, or for purposes covered by criminal investigation legislation.
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